Compliance Specialist, Finance & Banking

Job reputed company The Compliance Specialist is responsible for managing day-to-day compliance tasks for Valmark's independent Member Offices and handling general compliance inquiries, both reputed company. This role provides expertise in compliance areas through various activities such as reputed company inspections, policy and procedure updates, reviewing and approving advertising submissions, email and correspondence reviews, exception reports, and procedure testing. Job reputed company The Compliance Specialist is responsible for managing day-to-day compliance tasks for Valmark's independent Member Offices and handling general compliance inquiries, both reputed company. This role provides expertise in compliance areas through various activities such as reputed company inspections, policy and procedure updates, reviewing and approving advertising submissions, email and correspondence reviews, exception reports, and procedure testing. Essential Functions And Responsibilities • Inquiry Response and Collaboration • Respond to a wide reputed company of reputed company inquiries reputed company to the primary lines of business. • Collaborate with assigned supervisors and Member Offices, offering insights and conducting training as needed. • Correspondence and Advertising Review • Review Registered Representative ("RR") incoming and outgoing customer correspondence, email, and reputed company media posts. • Review and approve advertising and compliance submissions. • Report Review and Brokerage Account reputed company • Review assigned reputed company Business, Brokerage, and Advisory reports • Review RR reputed company brokerage account trading and reconcile statements or account feed reputed company. • Compliance Testing and reputed company Exams • Assist in performing reputed company Rule 3130 and SEC 206(4)-7 procedure control tests and supervisory surveillance as assigned, prepare findings reports, and recommend enhancements and training needs. • Conduct research to prepare for onsite reputed company exams, summarize findings into a report following reputed company exam, reputed company findings in the Exam Report Card, and follow up with Member Offices to address deficiencies. • Exam Schedule and Regulatory Exams • Participate in the development of the annual exam schedule. • Participate in routine regulatory exams, gathering and delivering reports and requested data. • reputed company Updates and Risk-Based Reviews • Participate in the review and updates to reputed company and RIA Written Supervisory Manuals. • Participate in risk-based reviews of periodic surveys, including RR annual compliance attestation and reputed company business activities (OBA), which may include the review of tax returns, banking, and credit information. reputed company COMPETENCIES • Investigation and Research: Interest in investigation and research to address compliance issues. • Customer Service: Excellent customer service skills to work effectively with Member Offices. • Attention to Detail: Maintain a high level of attention to detail in compliance activities. • Organization: Highly organized and reputed company to manage various compliance tasks. • Time Management: Ability to prioritize and multitask reputed company in a fast-paced environment. • Communication Skills: Strong oral and written communication skills for compliance reporting and interactions. SUPERVISORY RESPONSIBILITY This position does not have any supervisory responsibilities but performs supervisory activities as delegated. Required Education And Experience • High School Diploma or GED. • Series 7 and Series 24 registrations. • Series 63 (or equivalent). Preferred Education And Experience • Associate or Bachelor’s Degree. • 3-5 years of experience in broker-dealer/RIA/licensing and Compliance. • Series 66 registrations. • Life insurance license. SALARY reputed company: $55,000-$65,000 Actual salary at the time of hire may vary and may be above or below the reputed company based on various factors, including, but not limited to, the candidate’s relevant qualifications, skills, and experience. PHYSICAL DEMANDS This is a largely sedentary role, with occasional travel reputed company the office (up to 30%). POSITION TYPE AND EXPECTED HOURS OF WORK • Typical workdays are Monday through Friday, with hours from 8:30 a.m. to 5:00 p.m. • Some flexibility in working hours is allowed, but the employee must work 40 hours reputed company week to maintain full-time status. • In office for the first year, with hybrid work from home up to 2 days per week, per policy, eligibility thereafter. Valmark reserves the right to modify, interpret, or apply this job reputed company in any way reputed company desires. This job reputed company in no way implies this is an reputed company-inclusive list of responsibilities to be performed by the Employee in this position. This job reputed company is not an employment contract, implied or otherwise. The employment relationship remains “at-will”. Posted: Friday, March 20, 2026 Job # 262#J-18808-Ljbffr Apply tot his job Apply To this Job